Dante Fichera
Professional Summary
Dante Fichera is a registered financial advisor currently at INDEPENDENT INVESTMENT BANKERS, CORP. located in Austin, Texas. Dante is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Dante has worked at 16 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE, Series 7, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.
Contact Information
Main Address
11801 Domain Blvd 3rd Floor, Austin, TX 78758Mailing Address
2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732Phone Number
(512) 266-3000Established
Delaware since 04/07/2010Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
6FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/30/2019)
(1/17/2012)
(6/3/2011)
(8/28/2012)
(4/24/2012)
(12/8/2014)
(9/23/2013)
(8/16/2013)
(11/17/2025)
(4/16/2013)
(3/21/2019)
(1/16/2018)
(5/12/2014)
(4/10/2017)
(5/27/2016)
(12/7/2016)
(2/3/2014)
(3/8/2019)
(8/22/2017)
(12/5/2016)
(11/19/2014)
(8/3/2011)
(1/2/2013)
(1/4/2017)
(1/29/2018)
(12/12/2016)
(10/31/2013)
(1/16/2019)
(6/1/2011)
(12/14/2016)
(2/25/2019)
(11/29/2016)
(12/9/2016)
(11/15/2013)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Dante Fichera's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dante Fichera's CRS (Customer Relationship Summary).
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